FOUNDERS FINANCIAL SECURITIES LLC — 13F Holdings & Portfolio
CIK 1342396 · latest 13F-HR filed 2026-07-31
FOUNDERS FINANCIAL SECURITIES LLC manages $1.95B in 13F-reported U.S. long-equity assets across 555 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are SPYG (6.49%), SPYV (4.75%), DFAE (2.83%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 51 new positions and exited 26; 278 existing positions rose in reported value and 111 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
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AUM
$1.95B
Long-equity book
Holdings
555
Distinct positions
Period
2026-06-30
Filed 2026-07-31
Q/Q Activity
+51 / −26 / ↑278 / ↓111
vs 2026-03-31
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q2 26SPYG6.5% · +1%SPYV4.8% · +5%DFAE2.8% · -2%VO2.8% · +378%VIG2.8% · +2%VEA2.5% · +3%XLK2.3% · +3%IJR2.3% · +2%NVDA2.0% · +10%FBND1.7% · +14%AGG1.5% · +4%JCPB1.4% · +17%QQQ1.3% · +1%AAPL1.3% · +1%IDEV1.3% · -9%IUSG1.2% · +3%VUG1.2% · +860%PYLD1.0% · +8%XLI0.9% · +45%CGGR0.9% · +1%IVVM0.8% · -0%CGDV0.8% · +2%IEMG0.8% · +6%BIL0.8% · -33%XLY0.8% · +75%USMV0.8% · +1%IEFA0.7% · -9%VOO0.7% · +96%TFLO0.7% · +4%IVV0.7% · -4%MSFT0.6% · -10%LGLV0.6% · +0%GOOGL0.6% · +22%XLF0.6% · +22%CGBL0.5% · +0%HOLA0.5% · -0%JMUB0.5% · +6%VTI0.5% · -3%MUB0.5% · +5%CGUS0.5% · -0%JPIE0.5% · +8%AMZN0.5% · -16%DYNF0.4% · newXLE0.4% · +38%ITA0.4% · -43%SGOV0.4% · -30%USFR0.4% · +14%XLV0.4% · -48%SCHG0.4% · +4%CGGO0.4% · +3%LVHI0.4% · +0%XLC0.4% · -1%VTV0.4% · -42%PG0.3% · +14%SMH0.3% · -12%CLSE0.3% · +0%TSLA0.3% · +8%META0.3% · +3%SCHD0.3% · +6%AMD0.3% · -19%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q1 26 → Q2 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
2 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 30.5%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Apr 20, 2026.
Assets Under Management
$4.14B
Discretionary
$3.66B
Employees
139
Accounts
19,082
Address
1026 CROMWELL BRIDGE ROAD
SUITE 100
TOWSON, MD 21286
SUITE 100
TOWSON, MD 21286
Phone
(410) 308-9988
This firm reports 3 disclosure items on its registration.
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| FOUNDERS FINANCIAL LLC Control | MEMBER since Dec 2022 | 75% or more | Domestic Entity |
| KRCMA, JOSEPH VICTOR Control | CHIEF COMPLIANCE OFFICER since Jun 2014 | Less than 5% | Individual |
| SHEPHERD, BRADLEY MATTHEW Control | CEO/ROSFP since Jun 2014 | Less than 5% | Individual |
| RECKAMP, JILL ANNE | FINOP since Mar 2015 | Less than 5% | Individual |
| FOUNDERS FINANCIAL HOLDINGS INC. Control Indirect owner via FOUNDERS FINANCIAL LLC | MEMBER FIRM since Dec 2022 | 75% or more | Domestic Entity |
| KAREN E BROOKS 2025 IRREVOCABLE TRUST Control Indirect owner via FOUNDERS FINANCIAL HOLDINGS INC. | MEMBER FIRM since Jan 2026 | 50–75% | Domestic Entity |
| MICHAEL O BROOKS 2025 IRREVOCABLE TRUST Control Indirect owner via FOUNDERS FINANCIAL HOLDINGS INC. | MEMBER FIRM since Jan 2026 | 50–75% | Domestic Entity |
| BROOKS, JARED MICHAEL Indirect owner via KAREN E BROOKS 2025 IRREVOCABLE TRUST | TRUSTEE since Jan 2026 | General partner, trustee or manager | Individual |
| BUERLEIN, KATELYN B. Indirect owner via MICHAEL O BROOKS 2025 IRREVOCABLE TRUST | TRUSTEE since Mar 2025 | General partner, trustee or manager | Individual |
| GERAGHTY, JEROME G. Indirect owner via MICHAEL O BROOKS 2025 IRREVOCABLE TRUST | TRUSTEE since Mar 2025 | General partner, trustee or manager | Individual |
| GERAGHTY, JEROME G. Indirect owner via KAREN E BROOKS 2025 IRREVOCABLE TRUST | TRUSTEE since Jan 2026 | General partner, trustee or manager | Individual |
| GIESE, MELISSA B. Indirect owner via MICHAEL O BROOKS 2025 IRREVOCABLE TRUST | TRUSTEE since Mar 2025 | General partner, trustee or manager | Individual |
| HUNTER, EMILY HELEN Indirect owner via KAREN E BROOKS 2025 IRREVOCABLE TRUST | TRUSTEE since Jan 2026 | General partner, trustee or manager | Individual |
Ownership & leadership changes · 8 filings with changes since Mar 22, 2012
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Mar 26, 2026 filing
- No longer listedBROOKS, MICHAEL OWENS · MEMBER · 75% or more · indirect via FOUNDERS FINANCIAL HOLDING INC. · listed since Dec 2022
- AddedBROOKS, JARED MICHAEL · TRUSTEE · General partner, trustee or manager · indirect via KAREN E BROOKS 2025 IRREVOCABLE TRUST
- AddedBUERLEIN, KATELYN B. · TRUSTEE · General partner, trustee or manager · indirect via MICHAEL O BROOKS 2025 IRREVOCABLE TRUST
- AddedGERAGHTY, JEROME G. · TRUSTEE · General partner, trustee or manager · indirect via MICHAEL O BROOKS 2025 IRREVOCABLE TRUST
- AddedGERAGHTY, JEROME G. · TRUSTEE · General partner, trustee or manager · indirect via KAREN E BROOKS 2025 IRREVOCABLE TRUST
- AddedGIESE, MELISSA B. · TRUSTEE · General partner, trustee or manager · indirect via MICHAEL O BROOKS 2025 IRREVOCABLE TRUST
- AddedHUNTER, EMILY HELEN · TRUSTEE · General partner, trustee or manager · indirect via KAREN E BROOKS 2025 IRREVOCABLE TRUST
- AddedKAREN E BROOKS 2025 IRREVOCABLE TRUST · MEMBER FIRM · 50–75% · indirect via FOUNDERS FINANCIAL HOLDINGS INC. · control person
- AddedMICHAEL O BROOKS 2025 IRREVOCABLE TRUST · MEMBER FIRM · 50–75% · indirect via FOUNDERS FINANCIAL HOLDINGS INC. · control person
Jan 23, 2023 filing
- No longer listedBROOKS, MICHAEL OWENS · SHAREHOLDER · 75% or more · indirect via FOUNDERS FINANCIAL, INC. · listed since Oct 1994
- No longer listedFOUNDERS FINANCIAL, INC. · MEMBER · 75% or more · control person · listed since Sep 2004
- AddedBROOKS, MICHAEL OWENS · MEMBER · 75% or more · indirect via FOUNDERS FINANCIAL HOLDING INC.
- AddedFOUNDERS FINANCIAL HOLDINGS INC. · MEMBER FIRM · 75% or more · indirect via FOUNDERS FINANCIAL LLC · control person
- AddedFOUNDERS FINANCIAL LLC · MEMBER · 75% or more · control person
Mar 31, 2022 filing
- ChangedSHEPHERD, BRADLEY MATTHEW · title PRESIDENT/ROSFP → CEO/ROSFP
Mar 16, 2016 filing
- No longer listedSTEIGHNER, KAREN ANN · FINOP · Less than 5% · listed since May 2010
- No longer listedWESTBROOK, SARAH MARGARET · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Jan 2014
- AddedRECKAMP, JILL ANNE · FINOP · Less than 5%
- ChangedSHEPHERD, BRADLEY MATTHEW · title PRESIDENT → PRESIDENT/ROSFP
May 30, 2014 filing
- AddedKRCMA, JOSEPH VICTOR · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ChangedSHEPHERD, BRADLEY MATTHEW · title CHIEF COMPLIANCE OFFICER, PRESIDENT → PRESIDENT
Jan 16, 2014 filing
- No longer listedBEECH, KAREN ELIZABETH · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Jun 2012
- AddedWESTBROOK, SARAH MARGARET · CHIEF COMPLIANCE OFFICER · Less than 5%
- ChangedSHEPHERD, BRADLEY MATTHEW · title PRESIDENT → CHIEF COMPLIANCE OFFICER, PRESIDENT
Jun 29, 2012 filing
- AddedBEECH, KAREN ELIZABETH · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ChangedSHEPHERD, BRADLEY MATTHEW · title PRESIDENT/CHIEF COMPLIANCE OFFICER → PRESIDENT
Apr 23, 2012 filing
- No longer listedBRIGGS, RICHARD RAYMOND · CHIEF COMPLIANCE OFFICER/COMPLIANCE REGISTERED OPTIONS PRINCIPAL · Less than 5% · control person · listed since Oct 2005
- ChangedSHEPHERD, BRADLEY MATTHEW · title PRESIDENT/CHIEF MARKETING → PRESIDENT/CHIEF COMPLIANCE OFFICER
Mar 22, 2012 filing (earliest on record)
- ListedBRIGGS, RICHARD RAYMOND · CHIEF COMPLIANCE OFFICER/COMPLIANCE REGISTERED OPTIONS PRINCIPAL · Less than 5% · control person
- ListedBROOKS, MICHAEL OWENS · SHAREHOLDER · 75% or more · indirect via FOUNDERS FINANCIAL, INC.
- ListedFOUNDERS FINANCIAL, INC. · MEMBER · 75% or more · control person
- ListedSHEPHERD, BRADLEY MATTHEW · PRESIDENT/CHIEF MARKETING · Less than 5% · control person
- ListedSTEIGHNER, KAREN ANN · FINOP · Less than 5%
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- SPDR SERIES TRUST$17.5M +16.0%
- VANGUARD INDEX FDS$12.4M +29.0%
- SELECT SECTOR SPDR TR$12.4M +37.9%
- VANGUARD INDEX FDS$10.1M +79.9%
- SPDR SERIES TRUST$8.4M +9.9%
Top Trims
- SELECT SECTOR SPDR TR-$7.7M -97.1%
- SPDR SERIES TRUST-$7.5M -32.7%
- SELECT SECTOR SPDR TR-$6.5M -45.3%
- ISHARES TR-$5.8M -40.6%
- SELECT SECTOR SPDR TR-$5.1M -51.8%
New Positions
- BLACKROCK ETF TRUST$8.4M
- ISHARES INC$5.4M
- SPDR SERIES TRUST$5.3M
- FIRST TR EXCHNG TRADED FD VI$3.8M
- ISHARES S&P GSCI COMMODITY-$3.3M
Exited Positions
- EXXON MOBIL CORP$7.0M
- ISHARES INC$4.0M
- J P MORGAN EXCHANGE TRADED F$2.0M
- HONEYWELL INTL INC$1.5M
- DTE ENERGY CO$975.6K
FOUNDERS FINANCIAL SECURITIES LLC Holdings (2026-06-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | SPDR SERIES TRUST | SPYG | 78464A409 | $126.7M | 6.49% | 1,064,857 | SH |
| 2 | SPDR SERIES TRUST | SPYV | 78464A508 | $92.8M | 4.75% | 1,525,773 | SH |
| 3 | DIMENSIONAL ETF TRUST | DFAE | 25434V302 | $55.3M | 2.83% | 1,375,931 | SH |
| 4 | VANGUARD INDEX FDS | VO | 922908629 | $55.1M | 2.82% | 683,602 | SH |
| 5 | VANGUARD SPECIALIZED FUNDS | VIG | 921908844 | $55.0M | 2.82% | 232,260 | SH |
| 6 | VANGUARD TAX-MANAGED FDS | VEA | 921943858 | $49.0M | 2.51% | 687,039 | SH |
| 7 | SELECT SECTOR SPDR TR | XLK | 81369Y803 | $44.9M | 2.30% | 235,900 | SH |
| 8 | ISHARES TR | IJR | 464287804 | $44.6M | 2.28% | 300,394 | SH |
| 9 | NVIDIA CORPORATION | NVDA | 67066G104 | $38.8M | 1.99% | 194,114 | SH |
| 10 | FIDELITY MERRIMACK STR TR | FBND | 316188309 | $33.4M | 1.71% | 733,356 | SH |
| 11 | ISHARES TR | AGG | 464287226 | $29.9M | 1.53% | 302,046 | SH |
| 12 | J P MORGAN EXCHANGE TRADED F | JCPB | 46641Q670 | $27.7M | 1.42% | 589,566 | SH |
| 13 | INVESCO QQQ TR | QQQ | 46090E103 | $26.0M | 1.33% | 35,278 | SH |
| 14 | APPLE INC | AAPL | 037833100 | $25.8M | 1.32% | 89,227 | SH |
| 15 | ISHARES TR | IDEV | 46435G326 | $25.3M | 1.30% | 284,074 | SH |
| 16 | ISHARES TR | IUSG | 464287671 | $23.1M | 1.18% | 122,713 | SH |
| 17 | VANGUARD INDEX FDS | VUG | 922908736 | $22.7M | 1.16% | 263,753 | SH |
| 18 | PIMCO ETF TR | PYLD | 72201R585 | $18.9M | 0.97% | 713,179 | SH |
| 19 | SELECT SECTOR SPDR TR | XLI | 81369Y704 | $18.0M | 0.92% | 97,416 | SH |
| 20 | CAPITAL GROUP GROWTH ETF | CGGR | 14020G101 | $16.9M | 0.87% | 358,394 | SH |
| 21 | BLACKROCK ETF TRUST II | IVVM | 092528702 | $16.2M | 0.83% | 437,284 | SH |
| 22 | CAPITAL GROUP DIVIDEND VALUE | CGDV | 14020W106 | $16.0M | 0.82% | 325,357 | SH |
| 23 | ISHARES INC | IEMG | 46434G103 | $15.7M | 0.80% | 189,162 | SH |
| 24 | SPDR SERIES TRUST | BIL | 78468R663 | $15.3M | 0.79% | 167,416 | SH |
| 25 | SELECT SECTOR SPDR TR | XLY | 81369Y407 | $14.8M | 0.76% | 125,976 | SH |
| 26 | ISHARES TR | USMV | 46429B697 | $14.7M | 0.75% | 152,510 | SH |
| 27 | ISHARES TR | IEFA | 46432F842 | $14.4M | 0.74% | 148,832 | SH |
| 28 | VANGUARD INDEX FDS | VOO | 922908363 | $13.4M | 0.69% | 19,482 | SH |
| 29 | ISHARES TR | TFLO | 46434V860 | $13.0M | 0.67% | 257,186 | SH |
| 30 | ISHARES TR | IVV | 464287200 | $12.9M | 0.66% | 17,247 | SH |
| 31 | MICROSOFT CORP | MSFT | 594918104 | $11.2M | 0.57% | 29,938 | SH |
| 32 | SPDR SERIES TRUST | LGLV | 78468R804 | $11.1M | 0.57% | 61,238 | SH |
| 33 | ALPHABET INC | GOOGL | 02079K305 | $11.0M | 0.57% | 30,859 | SH |
| 34 | SELECT SECTOR SPDR TR | XLF | 81369Y605 | $10.8M | 0.55% | 201,961 | SH |
| 35 | CAPITAL GROUP CORE BALANCED | CGBL | 14021D107 | $10.6M | 0.54% | 279,066 | SH |
| 36 | J P MORGAN EXCHANGE TRADED F | HOLA | 46654Q591 | $10.2M | 0.52% | 184,895 | SH |
| 37 | J P MORGAN EXCHANGE TRADED F | JMUB | 46641Q647 | $10.2M | 0.52% | 201,932 | SH |
| 38 | VANGUARD INDEX FDS | VTI | 922908769 | $9.8M | 0.50% | 26,369 | SH |
| 39 | ISHARES TR | MUB | 464288414 | $9.7M | 0.50% | 90,118 | SH |
| 40 | CAPITAL GROUP CORE EQUITY ET | CGUS | 14020V108 | $9.6M | 0.49% | 215,733 | SH |
| 41 | J P MORGAN EXCHANGE TRADED F | JPIE | 46641Q159 | $9.5M | 0.48% | 205,467 | SH |
| 42 | AMAZON COM INC | AMZN | 023135106 | $9.2M | 0.47% | 38,570 | SH |
| 43 | BLACKROCK ETF TRUST | DYNF | 09290C103 | $8.4M | 0.43% | 124,021 | SH |
| 44 | SELECT SECTOR SPDR TR | XLE | 81369Y506 | $8.4M | 0.43% | 158,410 | SH |
| 45 | ISHARES TR | ITA | 464288760 | $8.4M | 0.43% | 34,670 | SH |
| 46 | ISHARES TR | SGOV | 46436E718 | $8.4M | 0.43% | 82,963 | SH |
| 47 | WISDOMTREE TR | USFR | 97717Y527 | $8.3M | 0.42% | 164,688 | SH |
| 48 | SELECT SECTOR SPDR TR | XLV | 81369Y209 | $7.9M | 0.40% | 49,506 | SH |
| 49 | SCHWAB STRATEGIC TR | SCHG | 808524300 | $7.4M | 0.38% | 219,859 | SH |
| 50 | CAPITAL GROUP GBL GROWTH EQT | CGGO | 14020X104 | $7.4M | 0.38% | 175,235 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-06-30 | 2026-07-31 | $1.95B | 555 | 0001062993-26-003942 |
| 2026-03-31 | 2026-04-17 | $1.77B | 530 | 0001062993-26-002032 |
| 2026-03-31 | 2026-04-16 | $1.66B | 498 | 0001062993-26-002016 |
Filer Information
Address
1026 CROMWELL BRIDGE ROADSUITE 100
TOWSON, MD 21286
Phone
(410) 308-9988
Filing Manager
FOUNDERS FINANCIAL SECURITIES LLC
TOWSON, MD
Signatory
Joseph V. Krcma
Chief Compliance Officer